M••••• A••••••

Advisor at U••• B•••••• A•••••••• L••

Tempe, AZ | Phoenix, AZ

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Search this name across graphsid dfx:ria:909c1de3-7ad5-d7c4-8ed0-103eed962e21

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 8, 2005 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: U••• B•••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 7, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	May 11, 2026	n/a	yes	Tempe, AZ\|Phoenix, AZ	Current employment
W•••• F•••• A•••••••	Wirehouse	Jan 3, 2011	Nov 15, 2012	no	SAN LUIS OBISPO, CA\|OXNARD, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	U••• B•••••• A•••••••• L••	Nov 15, 2012	May 11, 2026	4,925	Firm change after gap	Wirehouse to ibd
W•••• F•••• I••••••••• L••	W•••• F•••• A•••••••	Jan 3, 2011	Jan 3, 2011

Relationships

Registered with (3)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
May 11, 2026 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 3, 2011 to Nov 15, 2012factForm ADV
→ W•••• F•••• I••••••••• L••Registered adviserregistration: previous registration
Mar 8, 2005 to Jan 3, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:909c1de3-7ad5-d7c4-8ed0-103eed962e21
First observed: Mar 8, 2005
Last observed: Sep 15, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.